Legg Mason

  • Sr. Compliance Officer (FinTech - Alternative Distribution Strategies)

    Job Locations US-NY-New York | US-CT-Stamford
    Req. #
    Position Type
  • Position Overview

    Legg Mason is seeking a mid-level Compliance Professional to join the US Distribution Compliance team in either New York (Midtown) or Stamford, CT.  As Sr. Compliance Officer,  you will focus on compliance issues in connection with Investment Advisory services at a global level for Legg Mason’s growing global FinTech organization. If you're an out-of-the-box, big thinker with experience with SEC rules and regulations, this is for you.  

    Key Responsibilities & Duties Include, but not Limited to

    • Work closely with Sr. Compliance Manager in providing compliance oversight of digital advisory services (including “robo advisors”) and other initiatives within Legg Mason’s Alternative Distribution Solutions (ADS) business
    • Identify regulatory and control risks of alternative distribution initiatives
    • Develop and administer compliance testing programs of digital advisory services focusing on: algorithm mapping, client risk profile, investment options, client notifications, record retention, trading, and client education
    • Develop robust supervisory and operational policies and procedures
    • Develop compliance reporting and metrics
    • Conduct due diligence of service providers
    • Stay current on regulators’ approaches to digital advisory services, modify the Legg Mason controls to address regulator concerns, and assist in providing responses to regulatory requests and inquiries
    • Work with Legg Mason affiliates and departments to enhance websites and applications confirming adherence to company policies, procedures and regulatory requirements
    • Conduct compliance training
    • Work with ADS management in developing strategies and identifying regulatory risks

    Ideal Qualifications and Experience

    • 1-3 years' compliance experience in investment management
    • Familiarity with technology solutions
    • General knowledge and experience relating to investment advisory products
    • A basic understanding of the security markets
    • Familiarity with regulations governing investment advisers and compliance programs

     Skills / Other Personal Attributes Required:

    • Familiarity with technology solutions
    • Excellent interpersonal and presentation skills with the ability to interface with personnel in a broad range of areas of expertise and at various levels within the organization, i.e. legal, distribution, technology
    • Sound professional judgment, analytical skills, and practicality.
    • Proficient at gathering and synthesizing data to identify problems, trends, and opportunities.
    • Ability to conduct analysis and present data in a meaningful way
    • Comfortable at working independently and following through on projects
    • Self-motivated, multi-tasker
    • Excellent verbal and written communication skills and effective interpersonal skills

    Company Overview

    Legg Mason is a leading global asset management firm that offers rewarding career opportunities for individuals who share our core values: integrity, collaboration, and passion for results, empowerment, and a commitment to our profession. We have a presence in every major financial center across the globe, and we look for exceptional professionals who want to shape a rewarding career through intellectual curiosity, leadership, and team-oriented approach. If you are passionate about the investment business and about building your future with one of the industry's premier firms, consider the opportunities at Legg Mason today.



    Legg Mason offers a competitive salary and comprehensive benefits package which includes medical, dental, vision, 401(k) with company match, extensive paid time off, employee stock purchase plan with company match, tuition reimbursement, paid parental leave for all employees, and much more.  Learn more about our benefits here.


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